中粮糖业控股股份有限公司 内部控制管理制度 （2025 年 8 月修订） 第一章 总 则 第一条 为规范中粮糖业控股股份有限公司（以下简称公司）内部控制工作， 提高经营管理水平和风险防范能力，根据《中华人民共和国公司法》《中华人民 共和国证券法》《上海证券交易所股票上市规则》等法律法规及规范性文件的规 定，结合公司实际情况，制定本制度。 第二条 本制度所称内部控制是指公司董事会、高级管理人员及其他有关人 员为实现公司内部控制目标的过程。 第三条 公司内部控制目标： （一）提升公司质量，提高公司经营效益与效率，增强公司风险控制能力， 增加对公司股东的回报，促进公司发展战略的实现； （二）保障公司资产的安全、经营合法合规； （三）确保公司信息披露的真实、准确、完整和及时。 第四条 公司内部控制应遵循全面性、重要性、制衡性、适应性、合规性和 成本效益的基本原则。 第五条 公司及各子公司以管理和业务流程为主线，按照内部环境、风险管 理、控制活动、信息与沟通、内部监督五项基本要素建立健全内部控制体系。 第六条 公司的内部控制涵盖经营活动中所有业务环节，包括但不限于：销 售及收款、采购及付款、生产管理、固定资产管理、资金 ...

浙江海德曼智能装备股份有限公司 内部控制管理制度 第一章、总则 第一条 为加强浙江海德曼智能装备股份有限公司（以下简称"公司"）的内 部控制,促进公司规范运作和健康发展,保护股东合法权益,依照《中华人民共和 国公司法》《中华人民共和国证券法》及《浙江海德曼智能装备股份有限公司章 程》（以下简称"《公司章程》"）等规定，特制定本制度。 第二条 公司内部控制的目标： （一）控制公司风险； （二）提高公司经营的效果与效率； （三）增强公司信息披露的可靠性； （四）确保公司行为合法、合规,以实现公司战略目标。 第三条 公司董事会对公司内部控制制度的制定和有效执行负责。 第二章、内部控制制度的框架与执行 董事会的关注和指导等。 （二）目标设定：指管理层根据公司的风险偏好设定战略目标。 （三）因素辨认：指管理层识别影响公司目标实现的内部和外部因素。 （四）风险评估：指管理层根据风险因素发生的可能性和影响,以确定管理 风险的方法。 第四条 公司的内部控制主要包括：环境控制、业务控制、会计系统控制、 电子信息系统控制、信息传递控制、内部审计控制等内容。 公司内部控制制度涵盖以下层面： （一）公司层面； （二）公司下属部门或附 ...

宜通世纪科技股份有限公司 内部控制管理制度 宜通世纪科技股份有限公司 内部控制管理制度 第一章 总则 第一条 为了进一步完善宜通世纪科技股份有限公司（以下简称"公司"）内 部控制，依据《企业内部控制基本规范》及其配套指引、 《证券法》 《深圳证券交 易所上市公司自律监管指引第 2 号——创业板上市公司规范运作》 《宜通世纪科 技股份有限公司章程》（以下简称"公司章程"）等要求，结合公司实际情况，制 定本制度。 （三）制衡性原则：内部控制应当在治理结构、机构设置及权责分配、 业务流程等方面形成相互制约、相互监督，同时兼顾运营效率。 第二条 本制度所称内部控制，是指公司各层级的机构和人员，依据各自的 职责，采取适当措施，合理防范和有效控制经营管理中的各种风险，防止公司经 营偏离发展战略和经营目标的机制和过程。 第三条 内部控制的目标是合理保证企业经营管理合法合规、资产安全、财 务报告及相关信息真实完整，提高经营效率和效果，促进企业实现发展战略。内 部控制是由企业董事会、经理层和全体员工实施的、旨在实现控制目标的过程。 第四条 公司建立与实施内部控制，应当遵循下列原则： （一）全面性原则：内部控制应当贯穿于决策、执 ...

Core Viewpoint - The internal control management system of Jiangsu Shentong Valve Co., Ltd. aims to enhance and standardize internal controls, improve management levels, and promote sustainable development in accordance with relevant laws and regulations [1][3]. Group 1: General Principles of Internal Control - The internal control system applies to the company and its wholly-owned and controlled subsidiaries [1]. - Internal control is a process implemented by the board of directors, audit committee, management, and all employees to achieve control objectives [1]. - The objectives of internal control include ensuring legal compliance, asset security, accurate financial reporting, and improving operational efficiency [1]. Group 2: Principles of Internal Control - The principles guiding internal control include comprehensiveness, importance, checks and balances, adaptability, and cost-effectiveness [2]. - Internal control should cover all business activities and focus on significant matters and high-risk areas [2]. Group 3: Elements of Internal Control - Key elements of effective internal control include internal environment, risk assessment, control activities, information and communication, and internal supervision [2]. - The internal environment encompasses governance structure, organizational setup, and company culture [2]. Group 4: Risk Assessment - The company conducts risk assessments to identify and analyze internal and external risks related to achieving control objectives [7][12]. - Risk tolerance is defined as the level of risk the company can accept, which includes overall and business-level risk limits [7]. Group 5: Control Activities - Control measures include segregation of incompatible duties, authorization and approval controls, accounting system controls, and performance evaluation controls [28][31]. - The company implements a comprehensive budget management system to clarify responsibilities in budget management [33]. Group 6: Information and Communication - The company establishes procedures for collecting, processing, and transmitting internal control-related information to ensure timely communication [38]. - Information technology is utilized to enhance information integration and sharing [15]. Group 7: Internal Supervision - The internal audit department conducts regular checks on the implementation of internal control systems and business processes [16]. - The company is required to evaluate the effectiveness of internal controls regularly and report on any deficiencies found [46][47].

Group 1 - Zhejiang Securities Regulatory Bureau issued three regulatory announcements targeting CITIC Securities branch institutions and related personnel [2] - Violations by Wu Xuechang at the Shaoxing branch included providing clients with answers to investment knowledge tests, returning performance rewards, and offering investment advice to clients without signed advisory agreements [2] - The violations indicate inadequate compliance management at the Zhejiang branch and insufficient internal controls and risk prevention measures at the Shaoxing branch [2] Group 2 - This is not the first time CITIC Securities has been named by regulators in 2023, as the Anhui Securities Regulatory Bureau previously imposed administrative penalties on a former employee for insider trading [3] - The former employee, Li Haipeng, misused his access to non-public information and engaged in coordinated trading across multiple accounts, resulting in a confiscation of illegal gains and a fine totaling 426.28 million yuan [3] - Frequent regulatory scrutiny highlights deficiencies in CITIC Securities' internal control management and raises demands for improved internal governance [3]

Core Viewpoint - The company aims to strengthen and standardize its internal control management system to enhance operational management and risk prevention capabilities, ensuring sustainable and healthy development [2][3]. Group 1: Internal Control Objectives - The internal control objectives include compliance with laws and regulations, asset security, information authenticity, operational effectiveness, and strategic assurance [2][3]. Group 2: Principles of Internal Control - The internal control should adhere to principles of comprehensiveness, importance, checks and balances, adaptability, and cost-effectiveness [3]. Group 3: Internal Control Structure - The internal control management structure consists of the board of directors, audit committee, management team, internal control management department, operational departments, and supervisory departments [7][8]. Group 4: Key Elements of Internal Control - Key elements of internal control include internal environment, risk assessment, control activities, information and communication, and internal supervision [4]. Group 5: Risk Management - The company will identify and assess risks through a systematic approach, determining risk response strategies such as avoidance, reduction, sharing, and acceptance [11][12]. Group 6: Internal Control Manual - An internal control manual will be established to serve as a guideline for internal control practices, detailing risk content and control activities for each process [12][13]. Group 7: Training and Evaluation - Regular training will be conducted to ensure understanding of internal control measures, and internal audits will evaluate the effectiveness of the internal control system [14][15]. Group 8: Document Management - Internal control documents must be properly maintained and archived for at least ten years to ensure verifiability of the internal control processes [33].

Core Viewpoint - The internal control management system of Shenzhen Jingquan Technology Co., Ltd. aims to enhance corporate governance, ensure compliance with laws and regulations, and protect the rights of investors while improving operational efficiency and asset security [1][2]. Group 1: Objectives and Basic Requirements - The internal control management system is designed to comply with national laws and regulations, improve operational efficiency, ensure asset security, and guarantee accurate and fair information disclosure [1][2]. - The internal control should consider various factors such as internal environment, goal setting, risk assessment, and control activities to ensure effective implementation [1][3]. Group 2: Governance and Responsibilities - The company is committed to improving its governance structure, establishing incentive mechanisms, and fostering a culture of risk prevention and internal control [2][3]. - Clear definitions of roles, responsibilities, and authority across departments are essential to ensure compliance with the internal control system [2][3]. Group 3: Control Activities - The internal control activities encompass all business segments related to financial reporting and information disclosure, including sales, procurement, asset management, and human resources [3][4]. - The company will enhance management control over subsidiaries, focusing on significant transactions, fundraising, and information disclosure [3][4]. Group 4: Risk Management - The company will continuously improve its risk assessment system to monitor various risks, including operational, financial, market, and regulatory risks [3][4]. - A robust internal audit mechanism will be established to evaluate the effectiveness of internal controls and address any deficiencies [16][17]. Group 5: Information Disclosure - The company will adhere to regulations regarding information disclosure, ensuring timely and accurate reporting of significant events that may impact stock prices [14][15]. - A confidentiality system will be implemented to protect sensitive information until it is officially disclosed [14][15]. Group 6: Internal Audit and Evaluation - The internal audit department will regularly assess the internal control system's effectiveness and report findings to the board of directors [16][17]. - The board will issue an annual internal control evaluation report, which will be subject to review by independent financial advisors [17][19].

Group 1 - The company, Beijing Oriental Tong Technology Co., Ltd., received a negative internal control audit report for the fiscal year 2024 from Dehao International Accounting Firm, leading to additional risk warnings on its stock trading as per Shenzhen Stock Exchange regulations [1][2] - The company’s board is taking the negative audit report seriously and is urging management to strengthen internal control management and take effective measures to mitigate the impact of the related issues [1][2] - Measures being implemented include optimizing financial reporting processes, enhancing internal control supervision over key business activities, and improving the audit department's oversight functions to identify and correct internal control deficiencies [1][2] Group 2 - The company is required to disclose progress updates at least once a month during the risk warning period until the situation is resolved [2] - The company is cooperating with the China Securities Regulatory Commission (CSRC) regarding an investigation and has not yet received a conclusive opinion or decision from the CSRC as of the announcement date [2] - All business activities of the company are reported to be operating normally and orderly, unaffected by external circumstances [2]

Core Viewpoint - The Xiamen Securities Regulatory Bureau issued warning letters to the chairman, general manager, CFO, and chief risk officer of Ruida Futures due to inadequate internal control and accounting irregularities in its subsidiary, leading to inaccurate financial disclosures [1][4]. Group 1: Regulatory Actions - Ruida Futures and its responsible personnel received warning letters from the Xiamen Securities Regulatory Bureau for failing to fulfill their duties as per relevant regulations [4][5]. - The regulatory body mandated increased internal compliance checks and recorded the situation in the securities market integrity archives [4]. Group 2: Financial Performance - In Q1 2025, Ruida Futures reported a revenue of 383 million yuan, a year-on-year increase of 36.86%, and a net profit attributable to shareholders of 81.06 million yuan, up 12.01% [5]. - For the year 2024, the company achieved a revenue of 1.81 billion yuan, representing a growth of 95.45%, with a net profit of 383 million yuan, an increase of 56.93% [5]. Group 3: Company Background - Established in 1993, Ruida Futures is a large fully licensed futures company in China, with over 40 branches nationwide [5].